John C. Maine
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
John Christopher Maine JR was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 10 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 27, 2002 - June 12, 2019
AVANTAX ADVISORY SERVICES
September 19, 2001 - June 12, 2019
AVANTAX INVESTMENT SERVICES, INC.
July 3, 1990 - August 24, 2001
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
July 3, 1990 - August 24, 2001
OSAIC FA, INC.
January 2, 1989 - July 9, 1990
HUTTOE & ASSOCIATES, INC.
September 8, 1988 - January 2, 1989
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
January 29, 1988 - September 22, 1988
UBS FINANCIAL SERVICES INC.
April 8, 1987 - January 19, 1988
SENTRA SECURITIES CORPORATION
October 8, 1985 - May 19, 1987
PROFILE INVESTMENTS CORPORATION
July 26, 1984 - February 18, 1986
GLOBAL INVESTOR SECURITIES, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
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